|Relevant section/topic||Compliance Requirements||How We Can Help|
|Books and records (Rule 3110)||Correspondence must be maintained in compliance with applicable FINRA rules and Securities Exchange Act of 1934 Rules 17a-3 & 17a-4.
Also specifies supervisory procedures for the review of correspondence between individual representatives and the public.
This summary does not purport to list, nor should it be interpreted as stating that Intermedia addresses, all legal requirements related to data storage and retention. Compliance with FINRA, SEC, HIPAA and other applicable laws is complex and multi-faceted and is ultimately the responsibility of each entity that is subject to those laws.
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Baltimore Capital needed a hosted Exchange solution that would facilitate compliance. Learn why they chose Intermedia.